Series 26: Financial Responsibility Compliance Rules

Taken from our Series 26 Online Guide

Financial Responsibility Compliance Rules

In addition to filing routine financial reports, broker-dealers must also report certain financial shortcomings as soon as they recognize them. Regulators are authorized to inspect the books of all new registrants and changes of ownership.

+ Read More

More Series 26 Info

What are people saying?

Create an Account

Since you're reading about Series 26: Financial Responsibility Compliance Rules, you might also be interested in:

Series 65 - 10.10.3. Trading Authorization

Series 66 - Market Value vs. Book Value of an Equity Security

Series 24 - 4.1.6.2. Free Writing Prospectus (FWP)

Series 24 - 4.1.8. Closing the Syndicate

Series 66 - Example of Balance Sheet and Income Statement

Series 65 - Income Bonds

Series 51 - Books and Records (MSRB Rule G-8)

Series 27 - Listed Options Accounts

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I am so glad I used the Solomon prep information for my series 26. The simulator is awesome and helped me the most in having success in passing exam. I strongly recommend the materials for anyone taking the 26. Thanks Rosie!

Dan Smoot

I have passed the Series 6, 63, and 26 on my first tries, all with the excellent training offered by Solomon. I'll never use another platform for my material.

Jodee Hempel, Woodmen Financial Services. Omaha, NE

Solomon Exam Prep was the ticket to passing my Series 26 test. I would like to thank you all for your help! I highly recommend your study material for the FINRA exams.

David H. Viar, Farm Bureau Financial Services, West Des Moines, IA

I passed the Series 26 today with a score of 82%. Your exam simulator helped tremendously.

Ray Pecharich, Primerica, Sarasota, Florida

Thanks! I just passed my series 26 exam! Your material really helped!

Kevin Chambers

My sincere thanks and appreciation to the team at Solomon. I've used your materials to pass the SIE and Series 6, both on the first try, and today with your help, I have passed the Series 26 exam on the first try as well! Thank you for the excellent materials and assistance!

Kristina Ribali, MWA Financial Services. Ave Maria, FL